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2023 Investment Adviser Compliance Conference

Continuing Education Information

Please note that continuing education credit is only available for those attending the conference in person. Listening to recordings does not qualify for continuing education credit.

CFP Credit
CFP credit is available for this conference. Exact credit hours will be available soon.  

CLE Credit
CLE accreditation is pending in the following states: California, Georgia, Illinois, Missouri, Nebraska, New York, North Carolina, Ohio, Pennsylvania, Texas, Virginia, and Washington.

New York: Under New York’s Approved Jurisdiction policy, New York attorneys may claim credit earned through participation in out-of-state courses accredited by a New York Approved Jurisdiction. More information is available on the New York State Bar website.

Illinois and Nebraska are considered approved jurisdictions.

The provider believes this course meets the requirement of NH Supreme Court Rule 53.

To request that the IAA apply for CLE credit in a specific state, please contact Nora Iffaf at nora.iffaf@investmentadviser.org by February 6, 2023.

IACCP® CE Credit:
The conference is approved for NRS Investment Adviser Certified Compliance Professional® (IACCP®) continuing education credit for a maximum of 8 General CE and 2 Ethics CE credits. IACCP® designees have primary responsibility for reporting continuing education activities by the reporting period deadline. Instructions for reporting CE activities are available in the IACCP® CE Guide, which is available on the IACCP® CE portal.

NASBA CPE Credit
The IAA’s 2023 Investment Adviser Compliance Conference is presented in a live setting and is appropriate for intermediate and advanced skill levels. Previous courses in securities law or comparable work experience in the investment advisory industry is required. Advance preparation for the event is not required. The exact number of CPE credits in Business Management & Organization – Non-Technical, Information Technology – Technical, and Regulatory Ethics that an attendee can earn is pending.

After attending this conference, you will be able to:

  • Identify key issues on which the Securities and Exchange Commission focuses its examination and enforcement programs
  • Develop best practices for investment adviser compliance programs, including codes of ethics, conflicts of interest, marketing rule, ERISA issues, ESG investing, compliance testing and adapting technology to improve compliance efficiency and results, trading/best execution, retail and senior client matters, and oversight of third-party service providers
  • Identify regulatory issues that are unique to registered funds and private equity funds
  • Identify cybersecurity and data privacy issues for investment advisers

The Investment Adviser Association is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website.

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